Michael J. Witkowski

PARK AVENUE SECURITIES LLC

SOUTH BEND, IN 46617

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CRD#: 1056935

Professional summary

Michael J Witkowski, who also goes by Michael James Witkowski, Mike Witkowski, is a registered financial professional currently at PARK AVENUE SECURITIES LLC located in South Bend, Indiana.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1983. Michael has worked at 10 firms and has passed the Series 63, SIE, Series 3, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Michael James Witkowski | Mike Witkowski

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael J Witkowski's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Current

May 3, 1999 - Present

PARK AVENUE SECURITIES LLC

Office #1: 922 East Wayne Street Suite 202, South Bend, IN 46617

RIA

CRD#: 46173

SOUTH BEND, IN

Past

September 25, 1992 - May 3, 1999

GUARDIAN INVESTOR SERVICES LLC

CRD#: 6635

NEW YORK, NY

Past

November 19, 1989 - September 9, 1992

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

September 27, 1988 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

March 3, 1988 - September 30, 1988

UBS FINANCIAL SERVICES INC.

CRD#: 8174

Past

April 1, 1987 - March 9, 1988

THOMSON MCKINNON SECURITIES INC.

CRD#: 829

Past

July 29, 1985 - April 8, 1987

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

Past

March 27, 1984 - July 22, 1985

LEHMAN BROTHERS INC.

CRD#: 7506

Past

April 19, 1983 - March 22, 1984

BRITTENUM & ASSOCIATES, INC.

CRD#: 7179

Past

April 19, 1983 - January 24, 1985

SWINK & COMPANY, INC.

CRD#: 7111

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

PARK AVENUE SECURITIES LLC

CRD#: 46173 / SEC#: 801-58108, 8-51324

RIA

Registered Investment Advisory firm - SEC (11/13/2000 Approved)

District of Columbia

Registered Investment Advisory firm - SEC (1/2/2002 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Florida
(5/3/1999)

Idaho
(5/3/1999)

Indiana
(5/3/1999)

Michigan
(5/3/1999)

Oregon
(6/9/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/28/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 5/29/1985

National Commodity Futures Examination

General Industry/Product Exam

Series 5

Date: 4/15/1985

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 4/16/1983

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

PARK AVENUE SECURITIES LLC

CRD#: 46173 / SEC#: 801-58108, 8-51324

RIA

Registered Investment Advisory firm - SEC (11/13/2000 Approved)

District of Columbia

Registered Investment Advisory firm - SEC (1/2/2002 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

10 Hudson Yards, New York, NY 10001

Mailing Address

10 Hudson Yards, New York, NY 10001

Phone number

+1 (888) 600-4667

Established

Delaware since 08/20/1998

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Large

# of Employees

1,984

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PAS FORM ADV REVISED FIRM BROCHURE (3/19/2025)

VESTWISE (3/19/2025)

PARK AVENUE UMA/SMA SELECT AND STRATEGIST SELECT/STRATEGIST SELECT PLUS (3/19/2025)

PARK AVENUE SIGNATURE PORTFOLIO (3/19/2025)

Direct owners and executive officers

Name	Position	CRD#
THE GUARDIAN LIFE INSURANCE COMPANY OF AMERICA	OWNER
BOGGS, ALLEN WARREN	HEAD OF PRODUCT & SUPERVISION	4751363
CASWELL, MARIANNE GRACE	PRESIDENT AND ELECTED MEMBER	6424651
DAVARASHVILI, KATE	FINOP/PRINCIPAL FINANCIAL OFFICER.	5642325
DESROCHERS, CARL	ELECTED MEMBER	7807194
GALLO, JOSEPH MICHAEL	CHIEF COMPLIANCE OFFICER	3108044
HERGAN, JOSHUA NEIL	GENERAL COUNSEL	4572643
LESINA, LEYLA ADA	ELECTED MEMBER	3004323
MAHER, CARLY PRITCHARD	HEAD OF WEALTH MANAGEMENT STRATEGY AND BUSINESS OPERATIONS	4003223
PERRY, MICHAEL ANDREW	ELECTED MEMBER	2688179
RYNIKER, MICHAEL JOHN	PRINCIPAL OPERATIONS OFFICER	2474604

Regulatory assets under management

Total Number of Accounts	71,074
AUM (Assets Under Management)	$ 14,998,852,974

Disclosures

Regulatory Event	20
Arbitration	3

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
11/25/2025	Cover Page	Report
01/22/2025	Cover Page	Report
11/15/2023	Cover Page	Report

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Michael J. Witkowski

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Michael J Witkowski's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUARDIAN INVESTOR SERVICES LLC

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

UBS FINANCIAL SERVICES INC.

THOMSON MCKINNON SECURITIES INC.

PRUDENTIAL EQUITY GROUP, LLC

LEHMAN BROTHERS INC.

BRITTENUM & ASSOCIATES, INC.

SWINK & COMPANY, INC.

Primary Firm SEC Registration

PARK AVENUE SECURITIES LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 2/28/1983

SIE

Date: 10/1/2018

Series 3

Date: 5/29/1985

Series 5

Date: 4/15/1985

Series 7

Date: 4/16/1983

FINRA

Current Firm

PARK AVENUE SECURITIES LLC

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PARK AVENUE SECURITIES LLC

TRUST BUT VERIFY

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